{"id":1536,"date":"2025-09-29T18:50:58","date_gmt":"2025-09-29T18:50:58","guid":{"rendered":"https:\/\/bdia.wpenginepowered.com\/?p=1536"},"modified":"2025-09-29T18:51:02","modified_gmt":"2025-09-29T18:51:02","slug":"updates-on-sec-fincen-and-more-from-fisolve","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2025\/09\/29\/updates-on-sec-fincen-and-more-from-fisolve\/","title":{"rendered":"Updates on SEC, FinCEN and more from FiSolve"},"content":{"rendered":"\n<p><a href=\"http:\/\/FiSolve.com\" target=\"_blank\" rel=\"noopener\" title=\"\">FiSolve<\/a>&#8216;s September 26th weekly financial and regulatory news updates:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/litigation\/admin\/2025\/33-11390.pdf?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=382358523&amp;_hsenc=p2ANqtz-8vN_8yHw4tOst3rlu72ygLL6McH-rRya6BHx4nF-JTSEBriLAh7Ayg7IlSztj5w07nU2oEz17PiX8eAyUxj9Ixl9_FAA\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Charges Broker-Dealer for False and Misleading Statements Regarding Speed of Market Data; Announces $5 Million Settlement<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.federalregister.gov\/documents\/2024\/09\/04\/2024-19260\/financial-crimes-enforcement-network-anti-money-launderingcountering-the-financing-of-terrorism?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=382358523&amp;_hsenc=p2ANqtz-8vN_8yHw4tOst3rlu72ygLL6McH-rRya6BHx4nF-JTSEBriLAh7Ayg7IlSztj5w07nU2oEz17PiX8eAyUxj9Ixl9_FAA\" target=\"_blank\" rel=\"noopener\" title=\"\">FinCEN Issues Proposed Rule to Postpone Effective Date of Investment Adviser Rule<\/a><\/li>\n\n\n\n<li><a href=\"https:\/\/www.pwc.com\/us\/en\/industries\/financial-services\/library\/financial-services-tomorrow.html?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=382358523&amp;_hsenc=p2ANqtz-8vN_8yHw4tOst3rlu72ygLL6McH-rRya6BHx4nF-JTSEBriLAh7Ayg7IlSztj5w07nU2oEz17PiX8eAyUxj9Ixl9_FAA\" target=\"_blank\" rel=\"noopener\" title=\"\">PWC Issues Report on Future of the Financial Services Industry<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.sec.gov\/files\/litigation\/complaints\/2025\/comp26407.pdf?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=382358523&amp;_hsenc=p2ANqtz-8vN_8yHw4tOst3rlu72ygLL6McH-rRya6BHx4nF-JTSEBriLAh7Ayg7IlSztj5w07nU2oEz17PiX8eAyUxj9Ixl9_FAA\" target=\"_blank\" rel=\"noopener\" title=\"\">SEC Brings Charges in Fraudulent \u201cFree-Riding\u201d Scheme<\/a><\/li>\n\n\n\n<li><a href=\"http:\/\/chrome-extension:\/\/efaidnbmnnnibpcajpcglclefindmkaj\/https:\/\/www.esma.europa.eu\/sites\/default\/files\/2025-09\/JC_2025_48__JC_Autumn_2025_risk_report.pdf?utm_source=hs_email&amp;utm_medium=email&amp;utm_content=382358523&amp;_hsenc=p2ANqtz-8vN_8yHw4tOst3rlu72ygLL6McH-rRya6BHx4nF-JTSEBriLAh7Ayg7IlSztj5w07nU2oEz17PiX8eAyUxj9Ixl9_FAA\" target=\"_blank\" rel=\"noopener\" title=\"\">European Supervisors Implore Financial Institutions to Stay Alert to Stability Risks\u00a0<\/a><\/li>\n<\/ul>\n\n\n\n<p>Read the full update <a href=\"https:\/\/45514485.hs-sites.com\/fisolve-weekly-news-digest-september-26-2025?ecid=ACsprvuf_XHvCj__UZT_S_z7SBNzMtLPtTRHZzzCTHXo1VNK-anlPHNiZrwzLLFJyOrnsx-aq4i6&amp;utm_medium=email&amp;_hsenc=p2ANqtz-8u0dwIHesjSDIR4QwsoZBvnVZSYJx12_eSeEUOxjGVm_WmiRSRczHazlY6rEqT-MbZf2c7oGpQU88ucxVOOX7Jygxhng&amp;_hsmi=382358523&amp;utm_content=382358523&amp;utm_source=hs_email\" target=\"_blank\" rel=\"noopener\" title=\"\">here.<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>FiSolve&#8216;s September 26th weekly financial and regulatory news updates: Read the full update here.<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,24,25,21,22],"tags":[],"class_list":["post-1536","post","type-post","status-publish","format-standard","hentry","category-compliance","category-enforcement","category-international","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1536","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=1536"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/1536\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=1536"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=1536"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=1536"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}